FINRA Proposes Pay-to-Play Rules
FINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
Focus Adds $1.4B RIA in Chicago Area
Meanwhile, Securities America recruits three FAs, one from Wells Fargo and another from LPL Financial.
10 Poorest Members of Congress: 2014
As midterm elections near, it's good to know which legislators have the least amount of money, and if it means they are more effective legislators.
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower Practices
Lawmakers say “overly restrictive nondisclosure agreements,” for example, threaten the SEC's whistleblower program.
ASPPA Names Keck President
Kyla Keck, a principal of SageView Retirement Plan Consultants and SageView Advisory Group in Knoxville, Tennessee, named ASPPA's new president at annual conference.
Starting Over When a Nest Egg Is Gone
Losing a retirement portfolio is devastating—but recovery is possible, with the right financial advice.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.
Top 25 U.S. Charities: 2014
The Chronicle of Philanthropy ranks the top charities by private donations, with four of the top 10 DAFs, including those of Fidelity, Schwab and Vanguard.
10 States With Most Advisors Headquartered
Most investment advisory firms’ main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
Top 10 U.S. Public Pensions by Private Equity Investments and Returns
A new study finds private equity is public pensions’ top-performing asset class.